Brian Sullivan

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CRD#: 1041576

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Brian Sullivan, CFP® was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1982. Brian had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1996

Experience

Past

September 1, 2006 - November 11, 2020

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

Providence, RI

Past

September 1, 2006 - December 20, 2024

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

NEW YORK, NY

Past

February 24, 2006 - August 2, 2006

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

BOSTON, MA

Past

February 24, 2006 - August 2, 2006

A. G. EDWARDS & SONS, INC.

CRD#: 4

BOSTON, MA

Past

October 20, 2004 - February 27, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

BOSTON, MA

Past

October 20, 2004 - February 27, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

April 15, 2003 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

BOSTON, MA

Past

April 11, 2003 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

June 13, 2002 - April 28, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOSTON, MA

Past

June 15, 1998 - April 28, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 26, 1996 - August 19, 1998

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

October 6, 1995 - October 1, 1996

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

READING, MA

Past

July 14, 1994 - August 8, 1995

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

May 23, 1989 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

May 23, 1989 - February 8, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

January 20, 1988 - May 15, 1989

NEW ENGLAND SECURITIES

CRD#: 615

Past

February 22, 1985 - November 19, 1987

NEW ENGLAND SECURITIES

CRD#: 615

Past

September 10, 1982 - February 8, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356 / SEC#: 801-21317, 8-32139

RIA

Registered Investment Advisory firm - SEC (6/1/1984 Approved)

Terminated by SEC on 11/30/2020

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/22/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/6/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/4/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/23/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356 / SEC#: 801-21317, 8-32139

RIA

Registered Investment Advisory firm - SEC (6/1/1984 Approved)

Terminated by SEC on 11/30/2020

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Contact information

Main Address

320 Park Avenue, New York, NY 10022-6839

Mailing Address

Phone number

(212) 224-1600

Established

New York since 01/03/1945

Firm type

Corporation

Fiscal year end

December

# of Employees

753

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LU, KATHRYN ANNE	EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	5605579

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 335,621,798

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Brian Sullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MUTUAL OF AMERICA SECURITIES LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WMA SECURITIES, INC.

AGES FINANCIAL SERVICES, LTD.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 5/22/1997

Series 63

Date: 12/6/1982

SIE

Date: 10/1/2018

Series 7

Date: 12/4/1997

Series 6

Date: 6/23/1982

Current Firm

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

TRUST BUT VERIFY

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